DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S•• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159519SEC 801-73077IAPD
Latest filing Jan 4, 2022
First filing on the tape Jan 20, 2012 · 14 filings
RAUM
$678M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
42
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$678M as of Mar 31, 2021
Apr 1, 2013$38.8M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)42 as of Mar 31, 2021
Apr 1, 201347 then
Private funds: no history
RAUM -27% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 4, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$678MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-27%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• R••••••• T••••• · Chief Financial Officercontrol
        since 07/2011 · owns less than 5%
      • C••••• D•••• C••••••••• · President And Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      • T••••• S•••• B••••• · Chief Executive Officercontrol
        since 07/2011 · owns less than 5%
      Entity owners
      • M••••• L•• · Managing Member
        direct · owns 75% or more
      • M••••• M••••••••• I••• · Managing Member
        indirect · owns 75% or more of M••••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • M•• A••••••• L••
        investment adviserbanknRAUM $432M
      • M••• G• L••
        pooled vehicle sponsorn
      • M••• M••••••••• L••
        investment advisern
      • M••••• ••••••• G• L••
        pooled vehicle sponsorn
      • M••••• ••••••• M••••••••• L••
        investment advisern
      • M••••• C•••••• L••
        investment advisernRAUM $1.8B
      • M••••• S•• A••••••• L••
        investment advisern
      • M•• I• G• L••
        pooled vehicle sponsorn
      • M•• I• M••••••••• L••
        investment advisern
      • M•• I•• G• L••
        pooled vehicle sponsorn
      • M•• I•• M••••••••• L••
        investment advisern
      • M•• I•• O••••••• G• L••
        pooled vehicle sponsorn
      • S•• A••••••• L••
        investment advisern
      • S••• A•••••••
        investment adviserbanknRAUM $1.8M
      Advisers that list S•• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 29 to 19
        May 15, 2020 to Mar 31, 2021
      • Employees · 64 to 42
        May 15, 2020 to Mar 31, 2021
      • Discretionary RAUM · $926M to $678M
        May 15, 2020 to Mar 31, 2021
      • RAUM · $926M to $678M
        May 15, 2020 to Mar 31, 2021
      • Advisory employees · 32 to 29
        Mar 31, 2019 to May 15, 2020
      • Employees · 67 to 64
        Mar 31, 2019 to May 15, 2020
      • Other offices · 1 to 0
        Mar 31, 2019 to May 15, 2020
      • Discretionary RAUM · $1.0B to $926M
        Mar 31, 2019 to May 15, 2020
      • RAUM · $1.0B to $926M
        Mar 31, 2019 to May 15, 2020
      • Advisory employees · 45 to 32
        Mar 30, 2018 to Mar 31, 2019
      • Employees · 85 to 67
        Mar 30, 2018 to Mar 31, 2019
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 30, 2018 to Mar 31, 2019
      • RAUM · $1.2B to $1.0B
        Mar 30, 2018 to Mar 31, 2019
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 75 to 85
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.2B to $1.2B
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $1.2B to $1.2B
        Mar 31, 2017 to Mar 30, 2018
      • Related bank · false to true
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 40 to 45
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 60 to 75
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.2B to $1.2B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $1.2B to $1.2B
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 60 to 40
        Feb 18, 2016 to Mar 30, 2016
      • Employees · 80 to 60
        Feb 18, 2016 to Mar 30, 2016
      • Discretionary RAUM · $901M to $1.2B
        Feb 18, 2016 to Mar 30, 2016
      • RAUM · $901M to $1.2B
        Feb 18, 2016 to Mar 30, 2016
      • Advisory employees · 40 to 60
        Nov 20, 2014 to Feb 25, 2015
      • Employees · 60 to 80
        Nov 20, 2014 to Feb 25, 2015
      • Discretionary RAUM · $186M to $901M
        Nov 20, 2014 to Feb 25, 2015
      • RAUM · $186M to $901M
        Nov 20, 2014 to Feb 25, 2015
      Signals
      5 dated events
      • Nathan Bryce (Chief Compliance Officer) no longer on Schedule A of S•• A••••••• L•• (listed 2021-03-31, absent 2022-01-04)
        Jan 4, 2022 · Control person left · inference
      • Christopher Dean Crowe (President And Chief Compliance Officer) appeared on Schedule A of S•• A••••••• L••
        Jan 4, 2022 · Control person joined · fact
      • S•• A••••••• L•• reported RAUM $677.7M, down 27% from $925.9M (2020-05-15 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Nathan Bryce (Chief Compliance Officer) appeared on Schedule A of S•• A••••••• L••
        Mar 31, 2021 · Control person joined · fact
      • Bulger Brook Taube (Trustee) no longer on Schedule A of S•• A••••••• L•• (listed 2020-05-15, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026